David P. Smith
Professional summary
David Patrick Smith, who also goes by Dave P. Smith, Dave Smith, David P. Smith, is a registered financial advisor currently at WEALTH MANAGEMENT located in St. Louis, Missouri.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. David has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Patrick Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2019 - Present
WEALTH MANAGEMENT
Office #1: 220 W Lockwood Ave Ste 203, St. Louis, MO 63119January 15, 2016 - January 2, 2018
BLUE OCEAN PORTFOLIOS, LLC
November 17, 2011 - January 14, 2016
DECISION TREE WEALTH
February 4, 2011 - October 31, 2011
BLUE OCEAN PORTFOLIOS, LLC
December 9, 2003 - September 1, 2004
EDWARD JONES
Primary Firm SEC Registration
WEALTH MANAGEMENT
CRD#: 137080 / SEC#: 801-65977
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/13/2019)
Exams
Current Firm
WEALTH MANAGEMENT
CRD#: 137080 / SEC#: 801-65977
Contact information
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,617 |
| AUM (Assets Under Management) | $ 3,100,744,962 |
Red Flags
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